SEC Form 4 · accession 0001434890-15-000017
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Wayne Petty Jr.
Other
Period of report
Sep 30, 2015
Accepted (ET)
Oct 2, 2015 · 9:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001038773
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $15.05 | Sep 30, 2015 | A | 3,588 | A | Sep 30, 2017 | Sep 30, 2025 | Common Stock | 3,588 | 20,963 | D |
Explanation of responses
- F1On August 31, 2015 the Company effected a 1-for-4 reverse stock split, with fractional shares being rounded up to the next whole share. Shares reported as being beneficially owned in this Form 4 have been adjusted for the reverse stock split.